Try our Advanced Search for more refined results

Scottsdale Capital Advisors Corporation et al v. Financial Industry Regulatory Authority, Inc.

  1. April 26, 2016

    Brokerage's Challenge To FINRA Enforcement Power Axed

    The Financial Industry Regulatory Authority convinced a Maryland federal judge to toss a brokerage's challenge to the agency's enforcement powers Tuesday, on the grounds that FINRA's penny stock allegations against the brokerage belonged in the regulator's administrative proceeding, not federal court.

  2. April 22, 2016

    FINRA Must Defend Its Enforcement Powers, Firm Says

    A broker-dealer that's challenging the enforcement powers of the Financial Industry Regulatory Authority urged a Maryland federal court Thursday to keep its case alive, saying the regulator hasn't been able to do anything beyond "erect a straw man" against claims it was operating far outside its legal bounds.

  3. April 18, 2016

    SEC Slams Suit Challenging FINRA Authority

    The U.S. Securities and Exchange Commission on Monday urged a Maryland federal judge to dump a lawsuit challenging the powers of the Financial Industry Regulatory Authority, saying that the matter isn't yet ripe for a federal court to look at.

  4. April 11, 2016

    FINRA Asks Court To Quash Suit Challenging Its Authority

    The Financial Industry Regulatory Authority on Monday urged a Maryland federal court to reject a challenge to its enforcement powers, arguing that it has long been recognized that FINRA has a wide mandate and that any attempts to question that authority must go through the regulator's own appeals process first.

  5. March 24, 2016

    FINRA Powers Could Shrivel Under New Legal Challenge

    The Financial Industry Regulatory Authority's oversight of the brokerage industry faces a potentially life-altering challenge as a new lawsuit claims the Wall Street-funded regulator has been enforcing securities laws that it was never given congressional authority to police.